Arjun Thirukonda
Enhancing Short Sale Disclosures: SEC Rule 13f-2 and Form SHO Reporting
The Securities and Exchange Commission (SEC) recently adopted a new Rule 13f-2, as well as an amendment to the NMS Plan which governs the...
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Latest Articles and Case studies
Natarajan Venkatasubramaniam
- Jan 25
- 6 min
Firms Grapple with Regulatory Fatigue: CFTC's Approval of Proposed Amendments to Part 43 and Part 45 Requirements Compound Existing Regulatory Burden
In the current landscape, nearly every financial institution is directing its attention toward a triad of critical activities:
Lee Corcoran
- Jan 18
- 3 min
Trade Surveillance, Where are we heading?
The growing difficulty in detecting ever more complex illicit trading behaviors continues to increase.
Admin
- Jan 4
- 2 min
Best Practices for WM Digital Strategy
When wealth and asset management firms are defining the digital strategy for their business, the key to success is ensuring that critical...
Admin
- Dec 18, 2023
- 6 min
Revolutionizing U.S. Treasury Market: SEC's Landmark Decision on Clearing and Broker-Dealer Regulations
The Securities and Exchange Commission (SEC) is historically known for their Christmas Gifts over the years. One such gift was on...
Admin
- Dec 4, 2023
- 5 min
Navigating Emerging Risks and Enhancing Market Integrity: SEC’s 2024 Examination Priorities
The U.S. Securities and Exchange Commission (SEC) published its examination priorities on October 16, 2023, which outlines the critical...
Admin
- Nov 30, 2023
- 6 min
Countdown to Compliance: Preparing for EMIR Refit Go-Live in 2024
The European Market Infrastructure Regulation (EMIR) Refit is set to go live in 150 days under the European Securities and Markets...
Admin
- Nov 27, 2023
- 3 min
SEC Rule 10c-1a: Driving Transparency and Reporting in Securities Finance Transactions
On Oct 13, 2023, The Securities and Exchange Commission (SEC) adopted a new rule, identified as final Rule 10c-1a, under the Securities...
Admin
- Nov 20, 2023
- 4 min
Vigilant Oversight and Market Protection: Unveiling CFTC's 2023 Enforcement Focus on Digital Assets and Compliance Enforcement
The CFTC published its Enforcement Actions Report for Fiscal Year 2023 on November 7th, 2023. This report provides a comprehensive...
Admin
- Mar 23, 2023
- 2 min
Navigating the Complexities of Control Room Compliance
Firms that prioritize these key areas and implement robust control measures can establish a comprehensive control environment that...
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